Latest Dodd-Frank Posts
Wal-Mart Explains Exclusion of Shareholder Proposal to Third Circuit
Public Companies and Securities Wal-Mart appealed the United States District of Delaware’s decision that denied Wal-Mart the right to exclude a shareholder proposal submitted by Trinity Wall Street. The District Court held that the SEC was incorrect when it rendered a no-action letter permitting exclusion of a shareholder proposal submitted under Rule 18a-8 in Trinity Wall Street v Wal-Mart […] Read more →
Chancery Explains New Delaware Statute of Limitations
Litigation In Bear Stearns Mortgage Funding Trust 2006-SL1 v. EMC Mortgage LLC et al, the Delaware Court of Chancery explained the operation of Section 8106(c) of the Delaware statutes for... Read more →
Private Placement Due Diligence and Contingency Offerings Among FINRA’s 2015 Priorities
Broker-Dealer, Private Equity On January 6, 2015, FINRA released its 10th annual Regulatory and Examinations Priorities Letter in which it identified key areas of focus for FINRA investigations for 2015. Since... Read more →
Institutional Investors Not Amused by Proxy Access Exclusions
Public Companies and Securities Some public companies have requested the SEC to permit exclusion of proxy access proposals by stating the shareholder proposal directly conflicts with the issuers own proposal... Read more →